Vigilant’s experienced professionals have extensive knowledge in Investment Adviser, Broker-Dealer, Mutual Fund, Private Equity, and Cybersecurity compliance, risk, and technology. Vigilant provides insights on best practices, trends, and industry news. Our blog consolidates all SEC, Vigilant, and industry-specific compliance alerts, white papers, articles, etc., to help you stay informed and find the information that you will need and find useful.
State Street Paying Penalties to Settle Fraud Charges and Disclosure Failures
September 07, 2017The Securities and Exchange Commission today announced that State Street has agreed to pay more than $35 million to settle[...]
Read ArticleState Street Paying Penalties to Settle Fraud Charges and Disclosure Failures
September 07, 2017The Securities and Exchange Commission today announced that State Street has agreed to pay more than $35 million to settle[...]
Read ArticleSEC Announces Agenda for September 13 Meeting of the Advisory Committee on Small and Emerging Companies
September 06, 2017The Securities and Exchange Commission today announced the agenda for the next meeting of its Advisory Committee on Small and[...]
Read ArticleSEC Announces Agenda for September 13 Meeting of the Advisory Committee on Small and Emerging Companies
September 06, 2017The Securities and Exchange Commission today announced the agenda for the next meeting of its Advisory Committee on Small and[...]
Read ArticleRadio Host Charged With Concert Ticket Investment Scam
September 06, 2017The Securities and Exchange Commission today charged a sports radio personality and another New York City man with stealing millions[...]
Read ArticleRadio Host Charged With Concert Ticket Investment Scam
September 06, 2017The Securities and Exchange Commission today charged a sports radio personality and another New York City man with stealing millions[...]
Read ArticleRadio Host Charged With Concert Ticket Investment Scam
September 06, 2017The Securities and Exchange Commission today charged a sports radio personality and another New York City man with stealing millions[...]
Read ArticleChairman Clayton Names Executive Staff
August 31, 2017The Securities and Exchange Commission today announced that John Cook, Jeffrey Dinwoodie, Raquel Fox, Kristina Littman, Alan Cohen, Christopher Carofine,[...]
Read ArticleSEC Names Jeffrey Harris as Director of the Division of Economic and Risk Analysis
August 31, 2017The Securities and Exchange Commission today announced that Dr. Jeffrey H. Harris has been named Director of the agency's Division[...]
Read ArticleSEC Names Dalia Blass as Director of the Division of Investment Management
August 31, 2017The Securities and Exchange Commission today announced that Dalia Blass has been named Director of the agency's Division of Investment[...]
Read ArticleSEC and NYU to Host Forum on Exchange-Traded Products
August 31, 2017The Securities and Exchange Commission and New York University will host a forum in September to examine the fast growing[...]
Read ArticleREMINDER: Changes To Form ADV Go In Effect October 1st
August 31, 2017Back in August 25, 2016, the Securities and Exchange Commission (the “SEC”) adopted rules to modernize and enhance the disclosure requirements[...]
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